Steve A. James

CAMBRIDGE INVESTMENT RESEARCH ADVISORS

TEMPE, AZ

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CRD#: 4153136

Professional summary

Steve Allen James is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Tempe, Arizona and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Tempe, Arizona.

Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steve has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) INSURANCE ADVOCATES, 1001 KAMOKILA STE 205 KAPOLEI HI, 05/2009 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 10 HR/YR 0 HR/TRADING 2) JAMES GANG HOLDINGS LLC, 2405 W WEATHERBY WAY CHANDLER AZ, 08/2015, PRESIDENT, REAL ESTATE HOLDING COMPANY, INV REL, 40 HR/WK 40/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 03/2004, AS ADVISORY REP OF A RIA. INV REL, 80 HR/MO 80 HR/MO TRADING 4) JAMES FAMILY INVESTMENT SERVICES INC, 2405 W WEATHERBY WAY CHANDLER AZ, OWNER, 05/2006, INV REL, 20 HR/MO 0 HR/MO TRADING 5) PJ ADVISOR GROUP, TEMPE AZ 85284, 03/2023, President, PJ advisor Group is the OSJ that I Operate at Cambridge, NIR, 120HR/MO 120HR/MO TRADING 6) SUMMIT FINANCIAL SOLUTIONS, 430 W WARNER RD SUITE 123 TEMPE AZ, 01/01/2018, IAR, DBA, INV REL, 120 HR/MO 120 HR/MO TRADING 7) LADDERRE HOLDINGS LLC, PHOENIX AZ, 08/2024, OWNER, P&C INSURANCE COMPANY, 0 HR/MO 0 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Allen James's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 30, 2007 - Present

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

TEMPE, AZ

Current

March 29, 2004 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 430 W Warner Road Suite 123, Tempe, AZ 85284

CRD#: 39543

Tempe, AZ

Past

October 5, 2000 - March 26, 2004

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

March 30, 2000 - October 4, 2000

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

March 30, 2000 - October 4, 2000

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/7/2019)

Alaska
(1/7/2019)

Arizona
(3/29/2004)

IAR

Arizona
(5/30/2007)

Arkansas
(1/7/2019)

California
(7/13/2010)

Colorado
(1/7/2019)

Connecticut
(1/7/2019)

Delaware
(1/7/2019)

District of Columbia
(1/7/2019)

Florida
(1/7/2019)

Georgia
(1/7/2019)

Hawaii
(1/7/2019)

Idaho
(1/7/2019)

Illinois
(1/7/2019)

Indiana
(5/4/2017)

Iowa
(3/27/2008)

Kansas
(1/7/2019)

Kentucky
(1/7/2019)

Louisiana
(1/7/2019)

Maine
(1/7/2019)

Maryland
(1/7/2019)

Massachusetts
(1/7/2019)

Michigan
(5/4/2017)

Minnesota
(1/7/2019)

Mississippi
(1/7/2019)

Missouri
(1/7/2019)

Montana
(1/7/2019)

Nebraska
(1/7/2019)

Nevada
(4/30/2018)

New Hampshire
(1/7/2019)

New Jersey
(1/7/2019)

New Mexico
(5/4/2017)

New York
(1/7/2019)

North Carolina
(1/7/2019)

North Dakota
(1/7/2019)

Ohio
(1/7/2019)

Oklahoma
(1/7/2019)

Oregon
(1/7/2019)

Pennsylvania
(10/14/2016)

Rhode Island
(1/7/2019)

South Carolina
(1/7/2019)

South Dakota
(1/7/2019)

Tennessee
(1/11/2021)

Texas
(1/9/2008)

IAR

Texas
(1/9/2008)

Utah
(5/4/2017)

Vermont
(1/7/2019)

Virginia
(1/7/2019)

Washington
(5/4/2017)

West Virginia
(1/7/2019)

Wisconsin
(1/7/2019)

Wyoming
(1/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/15/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/1/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/29/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steve A. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Allen James's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LEGEND EQUITIES CORPORATION

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2007

Series 63

Date: 4/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2002

Series 6

Date: 3/29/2000

Series 24

Date: 7/1/2005

FINRA

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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